BACKGROUND 

State departments of transportation (DOTs) and other transportation agencies use alternative contracting methods (ACMs) instead of the traditional design-bid-build method to improve project delivery for a range of transportation construction projects. ACMs include, but are not limited to, design-build (DB), progressive design-build (PDB), construction manager at risk/construction manager general contractor (CMAR/CMGC), and indefinite delivery/indefinite quantity (ID/IQ). 

Well-planned procurement processes are critical for state DOTs and other transportation agencies. There are many bases for protests from unsuccessful proposers. These protests may necessitate canceling the procurement and reprocuring the project, resulting in additional costs and delays. Research is needed to identify potential situations that may give rise to procurement protests for projects using ACMs so that agencies can take appropriate measures to reduce risk and ensure that the procurement process proceeds as planned. 

OBJECTIVE

The objective of this project is to develop a guide for identifying the root causes of procurement protests in ACMs, reducing the risk of protests, and addressing these protests. 

RESEARCH TASKS 

Task descriptions are intended to provide a framework for conducting the research. The NCHRP is seeking the insights of proposers on how best to achieve the research objective. Proposers are expected to describe research plans that can realistically be accomplished within the constraints of available funds and subaward time. Proposals must present the proposers' current thinking in sufficient detail to demonstrate their understanding of the issues and the soundness of their approach to meeting the research objective. 

PHASE I 

Task 1. Conduct a literature review. The literature review should focus on procurement protests, responses, and findings at state DOTs and other agencies rather than on case law. At minimum, the review should consider DB, PDB, CMAR/CMGC, and ID/IQ. The review may include published and unpublished research on this topic conducted through the NCHRP; Federal Highway Administration (FHWA); and other national, international, state, and pooled fund sponsored research. 

Task 2. Develop a stakeholder outreach plan. The outreach should include state DOTs and other transportation agencies that have experience with ACMs. Identify common reasons for procurement protests and processes that are addressing procurement protests. Submit a technical memorandum containing the literature review and draft outreach plan. NCHRP approval is required before work on subsequent tasks begins. 

Task 3. Conduct stakeholder outreach. Identify stakeholders interested in participating in a second-round stakeholder outreach in Phase II. 

Task 4. Prepare an annotated outline for the draft guide. At minimum, the guide should provide:

• A glossary of ACM-related terms that aligns with previous TRB publications
• Reasons for procurement protests
• Categorization of procurement protests and where they originate in the procurement process
• Risk levels of protest associated with differing ACM types
• Successful practices for reducing and addressing procurement protests at each stage of procurement
• Procurement protest impacts
• Risk assessment of potential protests during RFP development
• Optimal agency procedures for managing protests once filed

Task 5. Prepare Interim Report No. 1 that documents Tasks 1 through 4 and includes potential participation from stakeholders in Phase II. The report shall provide an updated and refined work plan for Phase II. 

Note: Following a 1-month review of Interim Report No. 1 by the NCHRP, the research team will be expected to meet with the project panel in person to discuss the interim report. Work on Phase II of the project will not begin until authorized by the NCHRP. 

PHASE II 

Task 6. Develop a draft guide according to the approved Interim Report No. 1. The draft guide should be submitted at least 6 months before the contract end date. NCHRP approval of the draft guide is required before work on subsequent tasks may begin.

Task 7. Conduct second-round stakeholder outreach. After NCHRP approval of the draft guide, conduct a workshop, focus groups, or similar outreach to obtain feedback from state DOTs and other transportation agencies and revise the draft guide and outreach materials. The stakeholder outreach should include at least six participants besides the project panel and research team: one from each AASHTO region, one from other agencies, and one from pertinent TRB committees such as Transportation Law.

Task 8. Prepare the final deliverables. The deliverables shall include (1) the guide, (2) a conduct of research report summarizing the entire research effort, (3) an implementation plan for state DOTs, and (4) the second-round outreach materials with a slide summary introducing the guide. 

Note: Following receipt of the preliminary draft final deliverables, the remaining 3 months shall be for NCHRP review and comment and for research agency preparation of the revised final deliverables. 

< < < IMPORTANT > > > 

I. The brochure Information and Instructions for Preparing Proposals for the Transportation Research Board’s Cooperative Research Programs includes extensive guidance on the preparation of proposals for submission to CRP. Revisions to these instructions are highlighted in yellow within that document. 

II. Proposals will be rejected if any of the proposed research team members work for organizations represented on the project panel. The panel roster for this project can be found at https://www.mytrb.org/OnlineDirectory/Committee/Details/7231. Proposers may not contact panel members directly; this roster is provided solely for the purpose of avoiding potential conflicts of interest. 

III. The text of the final deliverable is expected to be publication ready when it is submitted. It is strongly recommended that the research team include the expertise of a technical editor as early in the project timeline as possible. See Appendix F of the Procedural Manual for Subawardees Conducting Research in the Transportation Research Board’s Cooperative Research Programs for technical editing standards expected in final deliverables. 

IV. The required technical memorandum (no more than 10 pages) titled “Implementation of Research Findings and Products” should address the following implementation frameworks: (1) Effective Products; (2) Implementation Stages; (3) Implementation Drivers; (4) Implementation Teams; and (5) Product Feedback. For more information on the frameworks, read the TR News article “Active Implementation at the National Cooperative Highway Research Program: Frameworks for Moving Research into Practice,” available at https://www.nationalacademies.org/osdocs/NCHRP20-44_ActiveImplementation-TRNews.pdf. 

V. The National Academies have an ethical and legal obligation to provide proper attribution whenever material from other sources is included in their reports, online postings, and other publications and products. TRB will review all Cooperative Research Programs draft final deliverables using the software iThenticate for potential plagiarism. If plagiarized text appears in the draft final deliverable, the research team will be required to make revisions and the opportunity to submit future proposals may be affected.